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Table of Contents
1. Introduction ................................................................................................................................. 3
1.1. Need for an aviation training and capacity‐building roadmap for States ............................................ 3
1.2. General advantages of a roadmap ..................................................................................................... 3
2. Context: aviation training is a global concern............................................................................... 4
2.1. Recommendation from the Council Off‐site Strategy Meeting ........................................................... 4
2.2. Expected aviation growth.................................................................................................................. 4
2.3. ICAO standards for training and qualification of personnel ................................................................ 4
2.4. Universal Safety Oversight Audit Programme results ........................................................................ 4
2.5. Identified issues ................................................................................................................................ 6
3. General approach for the development of an aviation training and capacity‐building roadmap .. 6
4. Proposed phased‐approach for the development of a training and capacity‐building roadmap ... 7
4.1. Description of the phased‐approach ................................................................................................. 7
5. Phase 1: Preparation .................................................................................................................... 8
5. 1 Objectives, inputs and outcomes of the Preparation Phase ............................................................... 8
6. Phase 2: Implementation of the roadmap .................................................................................. 10
6.1 Objectives and outcomes of the Implementation phase .................................................................. 10
7. Phase 3: Evaluation of the roadmap ........................................................................................... 11
7.1. Objectives and outcomes of the Evaluation Phase ........................................................................... 11
9. Conclusion .................................................................................................................................. 13
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 2
1. Introduction
1.1. Need for an aviation training and capacity‐building roadmap for States
a) Sustainable, safe and secure global aviation development rely on availability of qualified and
competent employees, supervisors and managers to plan, coordinate, manage, operate,
maintain and oversee all complex operations in various airports, airspaces, airplanes, etc. An
aviation training and capacity‐building roadmap will assist the International Civil Aviation
Organization (ICAO) Members in the development of plans to ensure they have the required
human resources, skills, technology and operational environment to carry out all aviation
activities in compliance with ICAO provisions, plans, programmes and required performance
specified in ICAO Standards and Recommended Practices (SARPs).
b) An aviation training and capacity‐building roadmap is a strategic document that outlines the
human resource requirements for a State to achieve its national objectives in air transportation.
The outcomes of the roadmap are related to the resolution of performance problems identified
in State’s audit reports or expected performance problems identified through a gap analysis, as
it will be explained in Sections 3, 4, 5, 6 and 7 of this document. It will also identify national
education and training institutions that contribute to meeting training needs by naming existing
programmes offered by universities, academies, private and government (civil aviation
authorities) training institutions, colleges or other post‐secondary institutions that graduate
qualified personnel for occupations in air transport.
1.2. General advantages of a roadmap
a) For Civil Aviation Authorities (CAAs) and aviation service providers, the purpose of this training
and capacity‐building roadmap is to provide a structured plan of actions, as indicated in Sections
4, 5, 6 and 7, to implement a comprehensive and consistent human resources development
strategies for their staff including adequate education, training and qualification programmes, in
order to meet the State’s strategic objectives, development goals and needs of the aviation
sector.
b) At a high level, the roadmap will:
facilitate reaching a consensus about a set of goals, objectives, steps and required needs;
provide a mechanism to create and implement criteria to ensure objectives and timelines are
met;
provide a framework that guide stakeholders and project teams in planning and coordinating
their activities; and
demonstrate how national capacity‐building will meet global objectives and conform with
ICAO SARPs.
c) At a detailed level, the roadmap will provide CAAs and aviation service providers plans of actions
to ensure they meet capacity needs in terms of occupations, to develop or maintain the number
of employees and managers for each national objective and their essential qualifications,
recruitment, training and retention policies, and succession planning.
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 3
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 4
safety oversight system encompass the whole spectrum of civil aviation activities, including
areas, such as aerodromes, air traffic control, communications, personnel licensing, flight
operations, airworthiness of aircraft, accident/incident investigation, and transport of dangerous
goods by air.
c) Through USOAP, ICAO audits the effective implementation of the following critical elements, as
an indication of a State's capability for safety oversight:
CE 1: primary aviation legislation;
CE 2: specific operating regulations;
CE 3: State civil aviation system and safety oversight functions;
CE 4: technical personnel qualification and training;
CE 5: technical guidance, tools and the provision of safety‐critical information;
CE 6: licensing, certification, authorization and approval obligations;
CE 7: surveillance obligations; and
CE 8: the resolution of safety concerns.
d) USOAP provides a good example of effectiveness of qualification and training of staff employed
by a CAA on the performance of a State’s safety oversight system (influence of CE 4 on the
overall Effective Implementation (EI) of CEs).
e) Figure 1 depicts the global average results of ICAO USOAP audits for all audited States, in terms
of EI of all CEs. Global results of CE 4, staff qualification and training, indicates 50% of effective
implementation and are therefore the lowest results. In fact, they have a negative impact on CE
8 (51%), CE 7 (56%), and CE 6 (67%) because without qualified inspectors (better results for CE
4), EI of CE 6, CE 7 and CE 8, which are key State performances for the implementation of a
safety oversight system, are lower. These results demonstrate how low qualification of
personnel (aviation safety inspectors in this case) has a negative impact on the safety oversight
system for some States, and on the global harmonization of civil aviation.
Note: USOAP data used in this document were generated from ICAO iSTARS in June 2016.
Figure 1 – USOAP EI Results
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 5
Figure 2 – USOAP CE Results
f) Figure 2 above depicts the results of CE4 (continuous line) and the overall EI for each of the 191
ICAO Member States. For most States, EI of CE4 (the continuous line) is below the average EI
(dots). Improving CE 4 results (by improving staff qualification and training) will contribute to
improve USOAP results for those States and the global average results, as well.
2.5. Identified issues
a) USOAP results confirm the following issues that should be addressed in an aviation training and
capacity‐building roadmap for civil aviation authorities:
training programmes not adequately identified;
training plans not established;
training plans not implemented;
training not adequately recorded;
funding not available;
required competencies for current jobs and tasks not identified (issues related to
training and qualification of current staff); and
required competencies for future tasks and jobs not identified (issues related to training
of the future generation).
return, TNAs results will determine a list of operational activities that form the components of the
aviation training and capacity‐building roadmap (roadmap operational plans).
a) Figure 4 presents the 3‐phased approach for developing the roadmap. Sections 4, 5, 6 and 7 of
this document contain a description for the three phases, Preparation, Implementation, and
Evaluation of the results (outcomes) of an aviation training and capacity‐building roadmap. The
Preparation Phase is the most crucial as it consists of designing and developing roadmap
operational plans that will be used in the Implementation and Evaluation Phases. The roadmap
operational plans (Figure 3, Column C,) and their coordinated implementation plans should
integrate the results of the training needs assessments (outputs from Figure 3,Column B) and
organized in order to deliver the expected outcomes defined in the roadmap operational plans.
The Implementation Phase is the longest and requires intense coordination and focus to ensure
appropriate and timely implementation of the roadmap operational plans. The Evaluation Phase
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 7
reveals the results of the implementation and whether training and capacity‐building outcomes
have been met.
Phase 2
Phase 1
Implementation Phase 3
Preparation
Evaluation of results
Implementation of
roadmap operational plans Evaluation and
Development of roadmap
developed in Phase 1, measurement of the
operational plans,
according to the results and extent that
including coordinated
coordinated capacity‐building
implementation plans,
implementation plans, and outcomes have been
identified in Figure 3,
using project management achieved (Phase 3 will start
Columns C(C.1, C.2, C.3,
methods. on the expected date of
C.4 and C.5), using results
the first outcome and will
of TNA assessments
use the evaluation plans
conducted in Figure 3,
established in Phase 1,
Columns B) addressing:
item 5).
1. HR capacity;
2. HR development;
3. acquisition plans;
4. resources, and
5. evaluation plans.
Figure 4 – 3‐Phased Approach
Each of the three phases include objectives, inputs and outcomes, as described in the following
sections.
5. Phase 1: Preparation
5. 1 Objectives, inputs and outcomes of the Preparation Phase
a) The main objective of the Preparation Phase is the development of roadmap operational plans
and coordinated implementation plans, based on the State Master Plan or equivalent
documents and results of the various assessments conducted in the TNAs processes, addressing:
human resources capacity (how many staff members are needed for each job and each
category, required recruitment policies, including attractive talents management and
retention programmes, etc.);
human resources development (training requirements and curricula, qualifications, training
plans, learning itineraries); and
human resources planning, including succession planning.
b) The State Aviation Master Plan information, and results of the TNAs will serve as data inputs to
the roadmap operational and coordinated implementation plans, operational criteria and key
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 8
performance indicators (KPIs) to be achieved. The evaluation plans for measuring the outcomes
of the roadmap Implementation (Phase 2) are also defined in the Preparation Phase (Phase 1,
item 5). The evaluation plans identify what data will be collected, using which methods, at what
intervals and how it will be used for the purpose of the evaluation (progress report, decision‐
making process, etc.).
c) Finally, the outcomes of the Preparation Phase are the ready‐to‐implement roadmap operational
plans, as indicated below in the Figure 5, Outcomes column.
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 9
Figure 6 – Implementation Phase
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 10
b) There are two categories of evaluation data: quantitative and qualitative. Quantitative
evaluations provide statistical results, such as the number of training programmes delivered, the
number of training courses developed, the number of trainees trained. Qualitative evaluations
require an analytical approach and are more appropriate to reveal whether the implementation
of operational plans was successful in relation to the State strategic objectives; for example,
whether the level of occupancy is satisfactory and meeting the State’s capacity needs,
considering the number of qualified professionals available after the implementation of training
plans.
c) Data collection relies on several methods: gathering training statistics, interviews with
stakeholders (trainees, supervisors, managers) and surveys to stakeholders, including customers.
Figure 7 indicates the Objectives, Inputs and Outcomes of the Evaluation Phase.
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 11
Figure 7 – Evaluation Phase
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 12
9. Conclusion
a) This document provides an explanation and guidance to States for preparing, developing,
implementing and evaluating a training and capacity‐building roadmap for their civil aviation
activities. Creating and implementing a training and capacity‐building roadmap is a large
undertaking, which requires data and information from two prior initiatives, the State Aviation
Master Plan (or equivalent documents) and comprehensive TNAs. The success of implementing a
training and capacity‐building roadmap is dependent upon the quality of information and data
received from these initiatives and the implementation of coordinated efforts (roadmap
coordinated implementation plans), using project management methods, which include
communication and change management plans. The ability for States to build capacity and meet
goals will greatly improve when their training and capacity‐building roadmap is established and
followed.
b) Appendix B shows an illustration of the high‐level steps, presented in this document, to follow for
the development of an aviation training and capacity‐building roadmap. Appendix C presents an
example of how these steps have been used for a hypothetical State: “Aviationland” for the
preparation of a training and capacity‐building roadmap.
— — — — — — — —
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 13
1. Capacity-building
The term “capacity‐building” has been used throughout the United Nations (UN) system since early
1990s. All UN specialized agencies were requested to actively support capacity‐building in the areas
for which they were technically qualified. The United Nations Development Programme (UNDP)
defines the term capacity‐building as "the creation of an enabling environment with appropriate
policy and legal frameworks, institutional development, including community participation, human
resources development and strengthening of managerial systems”. UNDP is the lead agency within
the UN system for action and thinking on capacity‐building and capacity development. UNDP
recognizes that capacity‐building is a long‐term continuing process, in which all stakeholders
participate (ministries, local authorities, non‐governmental organizations, professional associations,
academics and others).
2. Capacity-building roadmap
A series of operational plans derived from the State Aviation Master Plan and training needs
assessment providing step‐by‐step actions for short‐, mid‐, and long‐term human resources capacity
and development initiatives that will achieve capacity‐building goals.
3. Aviation industry
The term “aviation industry” generally represents operational and commercial entities/organizations
certified/approved by civil aviation authorities or other government agencies, such as airlines,
aerodrome operators, air navigation service providers, training organizations, cargo operators, etc.
6. Operational objectives
Operational objectives are targets whose attainment moves an organization toward achieving its
strategic or long‐term outcomes. In practice, operational objectives are used as mid‐term milestones
(or achievements) for long‐term projects.
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 15
8. Talent management
Talent management refers to an organization's attempts to recruit, keep, and train the most gifted
and highly qualified staff members that they can find, afford and hire. Talent management gives
business managers an especially important role to play in recruiting, developing and retaining
desirable staff members.
11. Stakeholders
Stakeholders are all those involved or impacted by the plans and initiatives defined in the Roadmap.
Following is a suggested list of stakeholders for an aviation training and capacity‐building roadmap:
a) State
b) agencies (civil aviation authorities and other government agencies);
c) service providers (airline, airports, air navigation services, training institutions, ground
handling agencies, etc.);
d) educational institutions;
e) ICAO;
f) regional organizations to which the State is party;
g) other international organizations (International Air Transport Association, Airports
Council International, Civil Air Navigation Services Organisation, etc.);
h) other selected UN agencies supporting the State’s capacity‐building (UNDP, United
Nations Educational Scientific and Cultural Organization, World Bank, etc.);
i) professional national organizations (e.g. pilots’ or air traffic controllers’ associations);
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 16
j) regional training associations/organizations; and
k) manufacturers.
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 17
Trained staff,
Elements Outcomes talent and
from Aviation Phase 2 succession
Master Plan programmes
Implementation
Evaluation of
Results of using project
Phase 2
TNAs management
Outcomes
methods
Idenfitifed
Outcomes resources, Outcomes
Phase roadmap Phase 3
1 operational
plans, etc.
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 18
Appendix C: Outline of Aviationland Training and Capacity-Building Roadmap
This Appendix outlines how a fictitious State (Aviationland) will follow the phased approach for the development and implementation of an Aviation
Training and Capacity‐building Roadmap. Information herein is only an illustration of the type of data and actions States or organizations need to
consider during the development of their Roadmap.
Phase 1 Preparation: Development of roadmap operational plans and coordinated implementation plans
Aviationland has just completed the development of an aviation master plan called “Aviation Horizon 2035” and is now planning to establish an
Aviation Training and Capacity‐building Roadmap to ensure they have adequate human resources and competencies to support the development of
the aviation sector for the upcoming fifteen years (2017‐2032).
A ‐ Elements from the master plan (numbering refers to Figure 3, Column A):
A.1. Projection of aviation activities of the State (traffic demand, overflights, etc.):
a) Aviationland tourism is growing and they anticipate attracting 40 million tourists by 2035, which, in addition to the business travellers and
nationals, should bring national airports and airspace to handle 70 million passengers by 2035 (this is three times the current capacity of
airports and airspace);
b) Aviation Horizon 2035 also includes a complete set of data and projection of traffic demand by category of passengers, overflight traffic,
international and domestic expected demand for each airport, including national and foreign operators.
A.2. Expected aviation operations (number of airports, airlines, other service providers):
a) Aviationland currently has:
1 Air Navigation Service Provider (ANSP);
10 international airports;
10 domestic airports;
5 military airports that can be used in case of emergency or diversion by civil aircraft, including commercial;
3 airlines offering international connections; and
ground handling activities carried out by private companies.
A.3. Identification of aviation jobs, competencies and qualification requirements:
a) As part of the Aviation Horizon 2035, Aviationland has conducted a comprehensive review of its needs in terms of jobs related to support its
planning activities and ensure compliance with ICAO SARPs. There are currently more than 150 identified jobs relating to the aviation sector.
Some of them are licensed, in accordance to ICAO Annex 1 — Personnel Licensing to the Chicago Convention and State regulations (pilots,
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 19
air traffic controllers (ATCO)), several are licensed based on CAA requirements only (e.g. air traffic safety electronics personnel, all aviation
security‐related jobs, cabin crew, dangerous goods acceptance staff) and other jobs are only regulated in terms of qualifications.
b) State Safety Programme requires all companies operating in the aviation sector to ensure implementation of a Safety Management System
and identify training requirements for their staff, in compliance with State regulations and their responsibilities.
c) Table 1 below shows the current and expected level of occupancy for pilots, ATCOs and some Aviation Safety Inspectors (ASI) jobs. The
information is available for other jobs, but not for all. The State uses a planning system by triennium which explains, why most information
has been established on a triennial basis.
Available Q1 Needs 2017 2020 2023 2026 2029 2032
2017
Captains 300 320 362 409 462 522 590
First Officers 260 280 316 358 404 457 516
ASI‐PEL 4 6 7 8 9 10 11
ASI‐OPS 5 10 11 13 14 16 18
ASI‐AIR 7 10 11 13 14 16 18
ASI‐AGA 4 10 11 13 14 16 18
Table 1
d) Table 2 below indicates the yearly expected retirement movements for pilots and ASIs, but it does not consider the expected staff to be
recruited (information not available because the recruitment analysis has yet to take place).
2017 2018 2020 2023 2026 2029 2032
Capt. 45 60 68 77 87 98 111
ASI‐PEL 1 1 2
ASI‐OPS 2 2 1 1
ASI‐AIR 2 3 2
ASI‐AGA 1 1 2
Table 2
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 20
A.4. Strategic objectives addressing the State aviation activities and operations (preferably strategies and mid‐term aviation activities operational
plans, if available):
a) Aviationland has identified a set of strategic objectives and supporting strategies for the implementation of the Aviation Horizon 2015,
addressing safety, security, environment, capacity and quality of service. All government and private agencies, companies and firms
operating in air transport are required to implement and demonstrate compliance with State’s strategic and operational plans and, in
particular, to ensure operational and management tasks are carried out only by qualified and competent personnel.
B ‐ Elements from the Training Needs Assessments (numbering refers to Figure 3, Column B):
B.1. Assessment of training needs for each job:
a) Training needs have been conducted only for licenced jobs, ASIs for personnel licensing; aircraft operation, airworthiness and airports
inspectors and some job critical for the State’s strategic objectives.
B.2. Assessment of training needs per category of personnel (technical, supervisors and managers):
a) A comprehensive training needs assessment to address the training requirements in relation to work responsibilities has been conducted. A
government order requires all agencies and companies to implement a roles and responsibilities matrix for all positions, including managers,
indicating their level of accountability for domains and areas related to their functions. In addition to technical training related to
proficiency, all employees and managers are required to complete recommended soft skills training.
B.3. Assessment of performance gaps (current vs desired, if available):
a) The assessment of performance gaps for the current situation of Aviationland has been conducted by the following national and
international programmes:
ICAO Universal Safety Oversight Audit Programme (USOAP)
ICAO Universal Security Audit Programme (USAP)
ICAO machine readable travel document (MRTD)
EUROCONTROL for Aviationland air navigation services provider (ANSP)
European Aviation Safety Agency (EASA) for airlines
CAA audits for all aviation industry
National audit team for all government agencies addressing human resources
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 21
b) Table 3 below reveals the assessment of performance gaps for the current situation:
Area Level of Compliance Notes
Low level of compliance due to long process for
Compliance of State Regulations with ICAO SARPs 70%
implementation of SARPs in State’s regulations
Low level of Effective Implementation due to lack of
Average Effective Implementation for USOAP 65% inspectors to conduct safety oversight certification
and surveillance.
Low level of Effective Implementation due to lack of
Average Effective Implementation for USAP 70%
inspectors to conduct security oversight.
ANSP compliance with EUROCONTROL 92%
Average compliance with Airline X 95%
Average compliance with Airline Y 90%
Average compliance with Airline Z 85%
ANSP compliance with State’s requirements 95%
Main recommendations are related to the lack of
National Audits addressing Human Resources 75% implementation of requirements regarding human
resources management, training and planning.
Table 3
c) The staffing needs, the potential increase of the gap between available and required competencies, and the results of national audits of
human resources revealed a need for urgent development and implementation of operational plans to avoid a shortage of competencies in
aviation skills.
B.4. Assessment of aviation training capabilities in the State (this includes aviation‐related training organizations operated by CAA and the aviation
industry).
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 22
a) Table 4 below indicates training institutions (public and private):
Training Institutions Training Programmes
National Pilots School PPL, CPL, IR, Single and Bi, Helicopter and Fix‐wings
Type Ratings for all type of aircraft registered in Aviationland
Airline A Dangerous Good courses, all specialties
Cabin Crew Training
Training programmes for all jobs related to air navigation and airport
ANSP Academy
services
Dangerous Good for acceptance staff and managers
Airline B
Cabin Crew
Other Several approved schools for cabin crew training
Table 4
B.5. Assessment of educational programmes in the State (high school and universities):
a) Aviationland has a vast network of universities, engineers’ schools and undergraduate level public and private institutions delivering
education in many areas directly or indirectly related to aviation. Only large universities and engineers’ schools have been assessed for the
time being.
B.6 For the completion of Phase One, Aviationland will use inputs from the State Aviation Master Plan and the Training Needs Assessments and
establish a list of activities they want to accomplish. The State has a fast‐growing aviation activity, high potential of skills shortage for pilots and
ASIs, but it could be the same for other jobs. The State also has weak CAA capacity, and training activities need to be enhanced. The following is
an example showing a list of activities based on collected information:
a) identification of stakeholders concerned with the scope of the roadmap (CAA, airlines, ANSP, universities, training centres, etc.);
b) identification of expectations, goals, objectives, KPIs to be achieved by the implementation of the roadmap (these are related to corrective
actions to be taken based on gap analysis (Figure 3, Column B.3) and problems identified from USOAP, USAP, etc.);
c) identification of resources for the implementation;
d) identification of education, training and qualification requirements for ASIs (this is done for pilots);
e) establishment of human resources capacity plans (complete and validate the table with needs identified under A.3, Table 1);
f) recruitment of additional inspectors for 2017;
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 23
g) establishment of human resources development plans (training for First Officers to become pilots, and training and qualification of
additional ASIs, including their managers);
h) establishment of a development plan for pilots’ training ensuring two hundred pilots per year by 2030 (need for the development of airlines
and compensation for retirement)
i) establishment of needs for technology supporting training and education;
j) establishment of missing qualification programmes for inspectors
k) enhancement of training capacity
l) coordination of project implementation plans (activities needs to be put in a matrix with timelines, priorities, resource needs and
assignment in order to be used as project implementation plans); and
m) development of validation and evaluation plans (select the objectives and timelines and build the evaluation plan).
B.7 Aviationland will therefore be able to establish its roadmap operational plans for the following (the numbering reflects Figure 3, Column C):
a) human resources capacity plans addressing recruitment, talent management, retention, succession planning, for pilots, ASIs, and other jobs
once the TNAs are completed;
b) human resources development plans addressing training plans, curricula, learning itineraries for pilots, ASIs, and other jobs once the TNAs
are completed;
c) technology requirements and acquisition plans supporting education and training of pilots, ASIs, and other jobs once the TNAs are
completed;
d) resource requirements to support education and training activities for pilots and other jobs once the TNAs are completed; and
e) evaluation plans to measure shortage of pilots, if USOAP and USAP results have been improved, etc.
Next steps
Once the roadmap operational plans and coordinated implementation plans are developed, the next step is to identify an implementation team and
conduct the Implementation Phase (Phase 2). Progressively evaluate the results, according to the Evaluation Plan defined in Phase 1, and executed
as Phase 3.
— END —
ICAO ©2017 Aviation Training and Capacity‐building Roadmap for States 24
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